SIE Exam Question 5: Answer and Explanation

Question: 5

Which of the following is not a prohibited activity?

• A. Rebalancing
• B. Commingling funds
• C. Guarantees against loss
• D. Spreading market rumors

Correct Answer: A

Explanation:

Rebalancing is not a prohibited activity, while commingling funds, guaranteeing against loss, and spreading market rumors are prohibited.